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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2011-09-08
UT RA APPROVED 2003-07-01
  • TX RA
    APPROVED
    Since 2011-09-08
  • UT RA
    APPROVED
    Since 2003-07-01

Branch Locations

299 S Main St 7Th Fl, Salt Lake City, UT 84111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Salt Lake City UT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Salt Lake City UT 11/2016 Present
Previous Registrations
  • 2001-09-10 → 2003-07-01
    Prudential Equity Group, Llc
    Salt Lake City, UT
Other Businesses

B&H INVESTMENT PROPERTIES LLC, CENTERVILLE, UT, INVESTMENT RELATED, LLC HOLDS REAL ESTATE INVESTMENTS, CO-OWNER&MANAGER, 2 HOURS/YEAR, DURING BUSINESS HOURS, START 3/31/2005.| SUMMIT WEALTH HOLDINGS, LLC, NOT INVESTMENT RELATED, CENTERVILLE, UT, 50% OWNER, START 11/2010, 0.5 HOURS PER MONTH/0 DURING TRADING, DUTIES: CO-OWNER & MANAGER.| GONE FLYING LLC, NOT INVESTMENT RELATED, SALT LAKE CITY, UT, 33.33% OWNER, START 11/17/2015, 4 HOURS PER MONTH, DUTIES: MEMBER/MANAGER| DIXIE GETAWAY LLC, NOT INV RELATED, WASHINGTON, UT, 50% OWNERSHIP, START 8/1/2017, 0 HOURS, NO DUTIES.| CRIMSON RIDGE WATER CO. LLC, NOT INV RELATED, CENTERVILLE, UT, 50% OWNERSHIP, START 1/13/2021, 1 HOUR PER MONTH, ZERO DURING TRADING, MANAGE WATER COMPANY.| HARBOR VIEW ESTATES HOME OWNER ASSOCIATION, INC, NOT INVT RELATED, CENTERVILLE, UT, 50% OWNERSHIP, START DATE 3/31/2021, 2 HRS PER MONTH, 0 HRS DURING TRADING, PARTIAL OWNER OF HOA.| PINEVIEW OVERLOOK HOA, NOT INV RELATED, CENTERVILLE, UT, 50% OWNERSHIP, START 9/9/24, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER OF HOA;| PINEVIEW OVERLOOK HOA, NOT INV RELATED, CENTERVILLE, UT, BOARD OF TRUSTEES, START 9/17/24, 1 HR PER MONTH, 0 HRS DURING TRADING, REVIEW AND APPROVE HOME PLANS, SETTING ANNUAL DUES AND APPROVE BUDGETS;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-17
S63 Uniform Securities Agent State Law Examination 2001-06-26
  • S65 Uniform Investment Adviser Law Examination
    2001-07-17
  • S63 Uniform Securities Agent State Law Examination
    2001-06-26

View on SEC IAPD

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